SEC Form 4 · accession 0001493152-16-006715
Eco-Stim Energy Solutions, Inc. · ESES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos A Fernandez
Officer — Executive Vice President · Director
Period of report
Jan 11, 2016
Accepted (ET)
Jan 11, 2016 · 6:03 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001135657
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 11, 2016 | M | 18,750 | — | A | 183,743 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF1,F2 | — | Jan 11, 2016 | M | 18,750 | D | — | Jul 11, 2024 | Common Stock | 18,750 | 18,750 | D |
Explanation of responses
- F1Restricted stock converts into Common Stock on a one-for-one basis.
- F2This restricted stock award was granted on July 11, 2014 and vests as to 18,750 shares on each of January 11, 2015, July 11, 2015, January 11, 2016 and July 11, 2016.